SEC Fines BlackRock and HomeStreet for Impeding Whistleblowers: Enforcement
In other enforcement news, Allergan will pay a $15 million penalty for disclosure failures during merger talks.
Advisor Group Names Steve Chipman Head of Strategic Acquisitions
Chipman will lead Advisor Group’s efforts to attract broker-dealers.
FINRA Names Gregory Dean as Senior VP of Government Affairs
Dean has worked in both houses of Congress, the federal government and the private sector.
Only 16% of Advisors Are Women: Cerulli
Cerulli makes the case that increasing women’s representation among advisors brings concrete business advantages.
Top 10 Investing, Business Ideas for Advisors in 2017: Mercer
Among Mercer’s suggestions are to prepare for regulatory changes and align revenue compensation models.
Vanguard Opens Behavioral Research Center: Top Portfolio Products
In other product news, new funds launched from Westwood Funds, Praxis and Symons.
SEC Whacks Citadel for $22M Over Misleading Trade Prices: Enforcement
In other news, the Port Authority of New York and New Jersey is the first municipal issuer to admit wrongdoing in an SEC enforcement action.
5 Trends in How Advisors Construct Portfolios
A new Practical Perspectives report explores growing reliance on passive management and other changes.
10 Best Foreign Countries for Retirement: 2017
International Living ranked the top retirement destinations based on cost of living, health care and more.
Advisor Group Cuts Fees, Launches New, DOL-Compliant Platform
In conjunction with new platform changes, Advisor Group execs will go on a 19-city roadshow to meet with advisors in person.